Admisiones por Cortesía del Tribunal Supremo 2021
Meses
Diciembre
| NOMBRE DEL ABOGADO | NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD | FECHA DE LA RESOLUCIÓN |
| Heidi Elizabeth VonderHeide | FINRA 20-03608 | Carlos Diago Diago, et al. v. Popular Securities, LLC | MC-2021-122 | 20 de diciembre de 2021 |
| FINRA 20-03540 | Manuel A. Velez Diaz et al. v. Popular Securities, LLC | |||
| Jaime LeeAnne Haggard; t/c/c Jaime Haggard Scivley; Jaime H. Scivley | FINRA 20-00628 | Nelson Menda, et al. v. UBS Financial Services, Inc. | MC-2021-121 | 20 de diciembre de 2021 |
| Viviana Helen Aldous | FINRA 21-02123 | Brunilda Rodríguez and Desiree Reyes Rodríguez v. UBS Financial Services, Inc. | MC-2021-120 | 20 de diciembre de 2021 |
| FINRA 21-02765 | María del Carmen Morales Lopez v. UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services, Inc. | |||
| Lance William Waters | FINRA 21-02248 | Jorge Zabala Pérez v. UBS Financial Services, Inc., and UBS Financial Services Incorporated of Puerto Rico | MC-2021-119 | 20 de diciembre de 2021 |
| Sara Soto | FINRA 15-02051 | Salvador Jiménez, individually and for his IRA v. UBS Financial Services, Inc., UBS Financial Services Incorporated of Puerto Rico and UBS Trust Company of Puerto Rico | MC-2021-117 | 20 de diciembre de 2021 |
Noviembre
| NOMBRE DEL ABOGADO | NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD | FECHA DE LA RESOLUCIÓN |
| Raymond Joseph Rafool, II | BY2021RF02122 | Michelle Stratton v. Christopher Alan Stratton | MC-2021-116 | 30 de noviembre de 2021 |
| William Preston Martin | FINRA 14-02422 | Carlos Manuel Diaz Serrano and Iris Chico Mercado v. Merrill Lynch, Pierce, Fenner & Smith, Inc. | MC-2021-115 | 17 de noviembre de 2021 |
Octubre
| NOMBRE DEL ABOGADO | NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD | FECHA DE LA RESOLUCIÓN |
| Jordan Wray Garman | SJ2019CV07932 | National Public Finance Guarantee Corporation and MBIA Insurance Corporation v. UBS Financial Services, Inc.; UBS Securities LLC; Citigroup Global Markets Inc.; J.P. Morgan Securities LLC; Morgan Stanley & Co. LLC; Merrill Lynch, Pierce, Fenner & Smith Inc.; RBC Capital Markets LLC; and Santander Securities LLC | MC-2021-91 | 19 de octubre de 2021 |
| Raghava Murthy | NEPR-AP-2020-0025 | Performance Targets for LUMA Energy Servo, LLC | MC-2021-103 | 15 de octubre de 2021 |
| Daniel Stuart Newman | FINRA 20-03980 | Carmen Elia Soto v. Broker Richard Lee Prann, Herbert J. Sims & Co, Inc., | MC-2021-101 | 8 de octubre de 2021 |
| Megan Nicole Kilissanly | FINRA 20-03980 | Carmen Elia Soto v. Broker Richard Lee Prann, Herbert J. Sims & CO, Inc. | MC-2021-100 | 8 de octubre de 2021 |
| Richard Jon Davis | FINRA 20-02814 | María E. Narváez Rivera, María E. Narváez Rivera MS Retirement Plan Trust, Menr Medical Services, Menr Investment Corp., Gloria E. Acevedo Rivera, Caed Investmend, Inc., and María de las A. Vilar Pastrana v. UBS Financial Services, Inc. | MC-2021-99 | 8 de octubre de 2021 |
| Martha Ferson | SJ-2019-CV-07932 | National Public Finance Guarantee Corporation y MBIA Insurance Corporation v. UBS Financial Services, Inc., UBS Securities LLC; Citigroup Global Markets, Inc.; Goldman Sachs & Co. LLC; J.P. Morgan Securities LLC; Morgan Stanley & Co. LLC; Merrill Lynch, Pierce, Fenner & Smith Inc.; RBC Capital Markets, LLC; y Santander Securities LLC | MC-2021-104 | 7 de octubre de 2021 |
Septiembre
| NOMBRE DEL ABOGADO | NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD | FECHA DE LA RESOLUCIÓN |
| Armistead Ingle Selden III | FINRA 20-00628 | Nelson Menda and Brenda Menda, Individually and as Trustees of the B and N Family Trust, Jim Taubenfeld and Moira Taubenfeld v. UBS Financial Services, Inc. | MC-2021-102 | 29 de septiembre de 2021 |
| Peter Sean Fruin | FINRA 19-01819 | Zulma T. Sosa-Ortiz v. UBS Financial Services, Inc. | MC-2021-97 | 15 de septiembre de 2021 |
| Richard Jon Davis | FINRA 19-01819 | Zulma T. Sosa-Ortiz v. UBS Financial Services, Inc. | MC-2021-96 | 15 de septiembre de 2021 |
| Peter James Mougey | FINRA 21-00687 | Quintin Rivera Segarra, Enid Torres and Quality & Reliable Services, Inc. v. UBS PR and Santander Securities | MC-2021-95 | 15 de sepiembre de 2021 |
| FINRA 21-00756 | Orlando Sandoval Muñiz, Ginette M. Ruiz Otero, Camelia Sandoval Bou and Manuel E. Sandoval Otero v. UBS PR and Popular Securities | |||
| FINRA 21-00864 | Adalberto Piñeiro Rodríguez v. Oriental Financial Services | |||
| FINRA 21-01085 | Fideicomiso Familia López Dávila UAD 08/31/11 Miguel A. Orobitg v. Santander Securities | |||
| FINRA 21-01265 | Dennisse López Ortiz y. Oriental Financial Services | |||
| Michael C. Bixby | FINRA 21-00687 | Quintin Rivera Segarra, Enid Torres and Quality & Reliable Services, Inc. v. UBS PR and Santander Securities | MC-2021-94 | 15 de septiembre de 2021 |
| FINRA 21-00756 | Orlando Sandoval Muñiz, Ginette M. Ruiz Otero, Camelia Sandoval Bou and Manuel E. Sandoval Otero v. UBS PR and Popular Securities | |||
| FINRA 21-00864 | Adalberto Piñeiro Rodríguez v. Oriental Financial Services | |||
| FINRA 21-01085 | Fideicomiso Familia López Dávila UAD 08/31/11 Miguel A. Orobitg v. Santander Securities | |||
| FINRA 21-01265 | Dennisse López Ortiz v. Oriental Financial Services, | |||
| Jorge Mentor Altamirano | FINRA 19-00040 | Radames Ruiz Vélez v. Oriental Financial Services Corp. and OFS Securities, Inc. f/k/a BBVA Securities of Puerto Rico, Inc. | MC-2021-84 | 15 de septiembre de 2021 |
| Alvaro Rodrigo Mon Cureno | SJ2019CV07932 | National Public Finance Guarantee Corporation and MBIA Insurance Corporation v. UBS Financial Services, Inc.; UBS Securities LLC; Citigroup Global Markets Inc.; J.P. Morgan Securities LLC; Morgan Stanley & Co. LLC; Merrill Lynch, Pierce, Fenner & Smith Inc.; RBC Capital Markets LLC; and Santander Securities LLC | MC-2021-92 | 8 de septiembre de 2021 |
| Jacob Daniel Fields | Arbitraje privado | EcoEléctrica, L.P. v. MAPFRE PRAICO Insurance Company | MC-2021-90 | 8 de septiembre de 2021 |
| David Philip Whittlesey | Arbitraje privado | EcoEléctrica, L.P. v. MAPFRE PRAICO Insurance Company | MC-2021-89 | 8 de septiembre de 2021 |
Agosto
| NOMBRE DEL ABOGADO | NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD | FECHA DE LA RESOLUCIÓN |
|
Andrew W. Sidman |
FINRA 18-02547 |
Walter Martínez Individually and for his Premier Trust and his IRA v. UBS Financial Services, Inc. |
26 de agosto de 2021 |
|
|
Andrew Gale Sokol |
FINRA 21-00804 |
Mayagüez Economic Development, Inc. v. UnionBanc Investment Services, LLC and LPL Financial LLC |
17 de agosto de 2021 |
|
|
Tariq Mahmood Naeem |
SJ2018CV07264 |
Government of Puerto Rico; Johnson & Johnson; Janssen Pharmaceutical, Inc.; Ortho-McNeil-Janssen Pharmaceutical, Inc. n/k/a Janssen Pharmaceutical, Inc.; Janssen Ortho, LLC a/k/a Manufactura Productos; Jane Does 1- 10 |
17 de agosto de 2021 |
|
|
Peter Neiman |
FINRA 21-00804 |
Mayagüez Economic Development, Inc. v. UnionBanc Investment Services, LLC and LPL Financial LLC |
17 de agosto de 2021 |
|
|
Jeffrey Erez |
FINRA 21-00804 |
Mayagüez Economic Development, Inc. v. Unionbanc Investment Services, LLC and LPL Financial LLC |
13 de agosto de 2021 |
|
|
Richard Jon Davis |
FINRA 19-02530 |
José Carlos Agrelot Pena, individually, as Trustee for Fideicomiso Andrés José Agrelot Rivera as Trustee for Fideicomiso Gabriel Jose Agrelot Rivera, and as Tenants in common with Carmen Myriam Rivera Negron, Carmen Myriam Rivera Negron, individually, and ERTEC PSC Environmental Consultants v. UBS Financial Services, Inc. |
13 de agosto de 2021 |
Julio
| NOMBRE DEL ABOGADO |
NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD |
FECHA DE LA RESOLUCIÓN |
| Lance William Waters | FINRA 21-01009 | Pedro Pina Melendez v. UBS Financial Services, Inc. and UBS Financial Services Incorporated of Puerto Rico | MC-2021-79 | 20 de julio de 2021 |
| Siobhan Catherine Atkins | SJ2019CV07932 | National Public Finance Guarantee Corporation v. UBS Financial Services et al. | MC-2021-75 | 01 de julio de 2021 |
| Melissa Rose Heidelberg | SJ2019CV09623. | College Park Condominium v. Triple-S Propiedad, Inc. | MC-2021-81 | 13 de julio de 2021 |
| Kathleen Shields O’Beirne | SJ2019CV09623 | College Park Condominium v. Triple-S Propiedad, Inc. | MC-2021-80 | 13 de julio de 2021 |
| Dominick F. Evangelista | FINRA 19-00046 | Jorge Calderón Drowett v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, | MC-2021-73 | 8 de julio de 2021 |
| FINRA 19-00237 | Lcdo. Roberto R. Muñoz Arill and Laura R. Ayoroa, as Tenants in Common v. Merrill Lynch, Pierce, Fenner & Smith Incorporated | |||
| FINRA 19-01562 | The Estate of Wilson Del Toro and Carmen L. Del Toro v. Merrill Lynch, Pierce, Fenner & Smith Inc., | |||
| FINRA 19-02128 | Juan Suárez -Álamo and Lisette N. Nevares-Tubens v. Merrill Lynch, Pierce, Fenner & Smith Incorporated | |||
| FINRA 19-02744 | Luis José Cuerda, Sara Pérez de Cuerda and Tomás Cuerda, Inc. v. Merrill Lynch, Pierce, Fenner & Smith Incorporated | |||
| FINRA 19-02644 | Rafael Reyes Cuerda and Lizette de Lourdes Reyes Cuerda v. Merrill Lynch, Pierce, Fenner & Smith Incorporated | |||
| FINRA 19-02891 | Carlos R. Santana Lugo and Amalia Colón De Santana TIC v. Merrill Lynch, Pierce, Fenner & Smith Incorporated | |||
| FINRA 19-03277 | Gladys Torres -Vega v. Merrill Lynch, Pierce, Fenner & Smith, Inc. | |||
| FINRA 20-01774 | The Estate of Lester Toro Lucchetti & Sylvia C. Toro v. Merrill Lynch, Pierce, Fenner & Smith, Inc. | |||
| William Scot Grecco | FINRA 19-03150 | The Estate of Enrique Santiago, Edgardo Santiago Aponte & Distribuidora Santiago v. Popular Securities LLC | MC-2021-74 | 7 de julio de 2021 |
| Daniel A. Rubens | SJ2019CV07932 | National Public Finance Guarantee Corp. et al. v. UBS Financial Services et al. | MC-2021-77 | 2 de julio de 2021 |
| Richard A. Jacobsen | SJ2019CV07932 | National Public Finance Guarantee Corp. et al. v. UBS Financial Services et al. | MC-2021-76 | 2 de julio de 2021 |
Junio
| NOMBRE DEL ABOGADO |
NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD |
FECHA DE LA RESOLUCIÓN |
| Frederick Curtis Baker | SJ2018CV07264 | Government of Puerto Rico; Johnson & Johnson; Janssen Pharmaceuticals, Inc.; Ortho-McNeil-Janssen Pharmaceuticals, Inc., n/k/a Janssen Pharmaceutica, Inc., n/k/a; Janssen Pharmaceuticals, Inc.; Janssen Ortho, LLC a/k/a Manufactura Productos; Jane Does 1- 10 | MC-2021-72 | 21 de junio de 2021 |
| Jennifer M. Selendy | SJ2019CV07932 | National Public Finance Guarantee Corporation and MBIA Insurance Corporation v. UBS Financial Services, Inc.; UBS Securities LLC; Citigroup Global Markets Inc.; J.P. Morgan Securities LLC; Morgan Stanley & Co. LLC; Merrill Lynch, Pierce, Fenner & Smith, Inc.; RBS Capital Markets LLC; and Santander Securities LLC | MC-2021-70 | 30 de junio de 2021 |
| FINRA 19-00458 | Carlos Fernandez Ferrer, individually and for his Retirement Plan, Maria Gutierrez Segarra, for her Retirement Plan, and CYM Holdings, LLC v. UBS Financial Services, Inc. | MC-2021-67 | 18 de junio de 2021 | |
| FINRA 19-01614 | Camille H. Feliciano v. UBS Financial Services, Inc. | |||
| FINRA 19-01712 | Alberto Ferra Geyls and Carmen C. Ramos Medina, as Tenants in Common v. UBS Financial Services, Inc. | |||
| FINRA 19-01701 | Lauristela Ortiz Berrois v. UBS Financial Services, Inc. | |||
| FINRA 19-01931 | The Estate of Francso Arroyo, for his IRA and as Tennants in Common with Iris M. Monrouzeau Bonilla, and Iris M. Monrouzeau Bonilla for her IRA v. UBS Financial Services, Inc. | |||
| FINRA 19-02454 | Validation & Engineering Group, Ind., a/k/a V&EG, for itis Retirement Plan v. UDS Financial Services, Inc. | |||
| FINRA 19-02354 | Caribbean Investment Center, Inc. v. UBS Financial Services Inc. | |||
| FINRA 19-03122 | Dr. Carlos M. Del Valle, individually for his IRA and as Tenant in Common with Ina Jetter, Ina Jetter for her individual account and for her IRA, and Manuel G. Del Valle Balaguer individually and IRA v. UBS Financial Services, Inc. | |||
| FINRA 19-03438 | Carlos A. Tollinche Morales and Heidi Hanson v. UBS Financial Services, Inc. | |||
| FINRA 20-00088 | Nelson Esteves v. UBS Financial Services, Inc. | |||
| FINRA 20-00171 | Manuel B. Torres Naveira and Carmen M. Negron Caldero v. UBS Financial Services, Inc. | |||
| FINRA 21-00603 | Pedro C. Roman Eyxarch v. UBS Financial Services, Inc. | |||
| FINRA 21-00756 | Orlando Sandoval Muniz, Ginette M. Ruiz Otero, Camelia Sandoval Bou and Manuel E. Sandoval Bou v. UBS Financial Services, Inc., and Popular Securities, LLC | |||
| Jonathan Jason Brennan | FINRA 20-04167 | Vicente Baez Medero v. UBS Financial Services Incorporated of Puerto Rico, UBS Financial Services, Inc. | MC-2021-66 | 18 de junio de 2021 |
Mayo
| NOMBRE DEL ABOGADO | NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD | FECHA DE LA RESOLUCIÓN |
| David M. Orta | SJ2020CV01505 | Ambac Assurance Corporation v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets, Inc., Goldman Sachs & Co., LLC, J.P. Morgan Securities, LLC, Morgan Stanley & Co., LLC, Oriental Financial Services, LLC; Popular Securities, LLC; Raymond James & Associates, Inc.; RBC Capital Markets LLC; Samuel A. Ramírez & Co., Inc., Santander Securities LLC; UBS Financial Services Inc. y UBS Securities LLC. | MC-2021-65 | 27 de mayo de 2021 |
| Peter Sean Fruin | FINRA 19-02752 | Amneris OMS Rivera, Héctor Troche OMS, Amneris Cristal Troche OMS, Coral del Mar Sandoval OMS, and Carole Sandoval OMS v. UBS Financial Services, Inc. | MC-2021-58 | 21 de mayo de 2021 |
| Richard Jon Davis | FINRA 19-02752 | Amneris Oms Rivera, Héctor Troche Oms, Amneris Cristal Troche Oms, Coral Del Mar Sandoval Oms, and Carole Sandoval Oms v. UBS Financial Services, Inc. | MC-2021-63 | 14 de mayo de 2021 |
| FINRA 19-02800 | Crucita Mulero Astacio and Osvaldo Sandoval Mulero v. UBS Financial Services, Inc. | |||
| Jonathan Jason Brennan | FINRA 19-01340 | Antonio Suárez Pagani & Evan Cruz Hernández v. UBS Financial Services Incorporated of Puerto Rico, UBS Financial Services, Inc. | MC-2021-62 | 14 de mayo de 2021 |
| FINRA 18-04233 | Gladys M. Avilés Maldonado v. UBS Financial Services, Inc. | |||
| FINRA 19-01480 | María I. Rivera Sánchez, individually, for her Retirement Plan, as Trustee for Fideicomiso Roberto Luis Colón Hernández, and José Guevara Fuertes, individually v. UBS Financial Services, Inc. | |||
| FINRA 19-01573 | Ernesto Rodríguez Font v. UBS Financial Services, Inc. | |||
| FINRA 19-01722 | David Cimino Scribner v. UBS Financial Services, Inc. | |||
| FINRA 19-03793 | Ary R. Moll v. UBS Financial Services, Inc. | |||
| FINRA 19-03380 | Rosa M. Lamas Martínez v. UBS Financial Services, Inc. | |||
| FINRA 20-00084 | Miguel A. Morales v. UBS Financial Services, Inc. and Popular Securities, LLC | |||
| Grace Jackson Posey | FINRA 19-03206 | The Estate of Gumersindo Rodríguez, as Tenant in Common with The Estate of Laddy Mangual v. UBS Financial Services, Inc. | MC-2021-61 | 14 de mayo de 2021 |
| Carl Stanley Burkhalter | FINRA 19-00220 | Elsa González Aponte, individually and for her retirement plan for which UBS Trust Co of PR serves as Trustee, and for her other retirement plan, and Jose Torres Correa, individually and for his retirement plan v. UBS Financial Services, Inc. | MC-2021-57 | 14 de mayo de 2021 |
| FINRA 19-01761 | Vivian Cestero de Casellas v. UBS Financial Services, Inc. | |||
| FINRA 19-01513 | Candido Rivera Torres and Carmen Marty Rivera, as Tenants in Common v. UBS Financial Services, Inc. | |||
| Stephen R. Klaffky | FINRA 20-04164 | Hilda Velez, individually and as heir to Isidro Velez Rodríguez v. UBS Financial Services, Inc. | MC-2021-55 | 14 de mayo de 2021 |
| FINRA 20-04213 | Sergio Rodríguez Rosado v. UBS Financial Services, Inc. | |||
| FINRA 21-00687 | Quintin Rivera Segarra, Enid Toro Torres and Quality and Reliable Services, Inc. v. UBS Financial Services, Inc. and Santander Securities, LLC |
Abril
| NOMBRE DEL ABOGADO | NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD | FECHA DE LA RESOLUCIÓN |
| Jasmine Sabina Etesse | Arbitraje privado | Swiss Reinsurance America Corporation v. Intregrand Assurance Corporation | MC-2021-39 | 27 de abril de 2021 |
| David A.. Attisani | Arbitraje privado | Swiss Reinsurance America Corporation v. Intregrand Assurance Corporation | MC-2021-38 | 27 de abril de 2021 |
| Jean-Paul Jaillet | Arbitraje privado | Swiss Reinsurance America Corporation v. Integrand Assurance Corporation | MC-2021-37 | 27 de abril de 2021 |
| Robert E. Goldberg | FINRA 18-01528 | Raul Menendez v. UBS Financial Services, Inc. | MC-2021-54 | 23 de abril de 2021 |
| FINRA 18-02912 | Edison Velez Rivera v. UBS Financial Services, Inc. | |||
| Richard Jon Davis | FINRA 20-00813 | Guillermo Colón Llop v. UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services, Inc. | MC-2021-51 | 23 de abril de 2021 |
| FINRA 20-02382 | Julio Matías v. UBS Financial Services, Inc. | |||
| FINRA 19-02860 | Elba Ramírez Acevedo as attorney in fact for Elba Acevedo Santana v. UBS Financial Services, Inc. | |||
| FINRA 20-02754 | Caribe Capital Corp. v. UBS Financial Services, Inc. | |||
| FINRA 20-03476 | Ivette Urgell v. UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services, Inc. | |||
| FINRA 20-04021 | Fernando Díaz Mediavilla v. UBS Financial Services, Inc. | |||
| FINRA 20-00981 | Juan Penalberty Alvarado and María Rivera Ortiz, as Tenants in Common v. UBS Financial Services, Inc. | |||
| FINRA 19-02070 | Jerónimo Lectora Irizarry and Laura R. Morales Fajardo v. UBS Financial Services, Inc. | |||
| FINRA 19-01416 |
Jesús Torres and Migdalia Soto, as Tenants in Common v. UBS Financial Services, Inc.
|
|||
| FINRA 19-01568 | Roberto Reina Valdés v. UBS Financial Services, Inc. | |||
| David M. Orta | SJ2020CV06383 | Financial Guaranty Insurance Company v. Merrill Lynch, Pierce, Fenner & Smith Incorporated; Citigroup Global Markets, Inc.; Goldman Sachs & Co., LLC; J.P. Morgan Securities, LLC; Morgan Stanley & Co., LLC; Oriental Financial Services, LLC; Popular Securities, LLC; Raymond James & Associates, Inc.; RBC Capital Markets LLC; Samuel A. Ramírez & Co., Inc.; Santander Securities LLC; UBS Financial Services Inc. y UBS Securities LLC | MC-2021-53 | 19 de abril de 2021 |
| Peter James Mougey | FINRA 20-03540 | Manuel A. Velez Díaz and Equipos & Constructora RDV Inc. v. Popular Securities, LLC, | MC-2021-45 | 13 de abril de 2021 |
| FINRA 20-03608 | Carlos Diago Diago, et al. v. Popular Securities, LLC | |||
| FINRA 20-04021 | Fernando Díaz Medavilla v. UBS Financial Services, | |||
| FINRA 20-04213 | Sergio Rodríguez Rosado v. UBS Financial Services | |||
| FINRA 21-00338 | Soledad Caeiro Menendez v. Popular Securities, LLC | |||
| Michael Carl Bixby | FINRA 20-03540 | Manuel A. Velez Díaz and Equipos & Constructora RDV Inc. v. Popular Securities, LLC, | MC-2021-44 | 13 de abril de 2021 |
| FINRA 20-03608 | Carlos Diago Diago, et al. v. Popular Securities, LLC, | |||
| FINRA 20-04021 | Fernando Díaz Medavilla v. UBS Financial Services | |||
| FINRA 20-04213 | Sergio Rodríguez Rosado v. UBS Financial Services | |||
| FINRA 21-00338 | Soledad Caeiro Menendez v. Popular Securities, LLC | |||
| FINRA 18-02216 | Del Valle, et al. v. Santander Securities, LLC | |||
| FINRA 18-02228 | Olmo, et al. y. Santander Securities LLC | |||
| Christopher D. Hampson | SJ-2019-CV-07932 | National Public Finance Guarantee Corporation y MBIA Insurance Corporation v. UBS Financial Services Inc.; UBS Securities LLC; Citigroup Global Markets, Inc.; Goldman Sachs & Co. LLC; J.P. Morgan Securities LLC; Morgan Stanley & Co. LLC; Merrill Lynch, Pierce, Fenner & Smith Inc.; RBC Capital Markets, LLC; y Santander Securities LLC | MC-2021-50 | 9 de abril de 2021 |
| SJ-2020-CV-01505 | Ambac Assurance Corporation v. Merrill Lynch, Pierce, Fenner & Smith Inc., Citigroup Global Markets Inc.; Goldman Sachs & Co. LLC; J.P. Morgan Securities LLC, formely known as J.P. Morgan Securities, Inc.; Morgan Stanley & Co. LLC; Samuel A. Ramírez & Co., Inc.; Raymond James & Associates, Inc.; and UBS Financial Services, Inc. | |||
| SJ-2020-CV-06383 | Financial Guaranty Insurance Company v. Merrill Lynch, Pierce, Fenner & Smith Inc.; Citigroup Global Markets Inc.; Goldman Sachs & Co. LLC; J.P. Morgan Securities LLC, Morgan Stanley & Co. LLC; Oriental Financial Services LLC; Popular Securities LLC; Raymond James & Associates, Inc.; RBC Capital Markets LLC; Samuel A. Ramirez & Co., Inc.; Santander Securities LLC; UBS Financial Services Inc.; y UBS Securities LLC | |||
| Dominick F. Evangelista | FINRA 18-04062 | Jose Antonio Vazquez Hernandez v. Merrill Lynch, Pierce, Fenner & Smith Incorporated | MC-2021-48 | 8 de abril de 2021 |
| FINRA 20-00376 | Mr. Henry Mercado and Mrs. Lucy Calderón v. Merrill Lynch, Pierce, Fenner, Smith Incorporated | |||
| James Ormerod Heyworth | FINRA 18-02228 | Julio Cruz Velázquez and Gloria E. Olmo Miranda; Gloria M. Cruz Olmo; Julio Cruz Olmo and Marta M. Sánchez and Cruz Auto v. Santander Securities LLC | MC-2021-46 | 5 de abril de 2021 |
Marzo
| NOMBRE DEL ABOGADO |
NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD |
FECHA DE LA RESOLUCIÓN |
| Ivan Lionel Hand, III | FINRA 19-01882 | Héctor R. Feliciano Ramos for his IRA and his Rollover IRA v. UBS Financial Services, Inc. | MC-2021-43 | 30 de marzo de 2021 |
| FINRA 19-01967 | Ilka Ortiz Romero v. UBS Financial Services, Inc. | |||
| FINRA 20-00018 | Luis Ortiz and Madelene Fernández v. UBS Financial Services, Inc., UBS Financial Services Incorporated of Puerto Rico | |||
| FINRA 19-01769 | Elio Borges Cros and María E. Edrosa, as Tenants in Common v. UBS_Financial_Services, Inc. | |||
| Jennifer Marie Moore | FINRA 19-02652 | Carlos Galloza Negrón; Joane Bonilla Román and Constructor de Aguada, Inc. v. UBS Financial Services Inc. of Puerto Rico and UBS Financial Services, Inc. | MC-2021-42 | 30 de marzo de 2021 |
| Richard Jon Davis | FINRA 20-01932 | Eduardo Bhatia v. UBS Financial Services, Inc. | MC-2021-35 | 24 de marzo de 2021 |
| FINRA 19-01529 | Milagros E. Perez, individually and Frances Milagros Perez, individually v. UBS Financial Services, Inc., | |||
| FINRA 19-03032 | Miguel Rios -Torres, as Beneficiary and on Behalf of Fideicomiso Rios -Lebron v. UBS Financial Services, Inc.; UBS Financial Services, Inc. of Puerto Rico and UBS Trust Company of Puerto Rico, | |||
| Shruti Jaishankar | FINRA 19-01476 | Luis A. Díaz v. UBS Financial Services, Inc. | MC-2021-33 | 24 de marzo de 2021 |
| FINRA 19-02306 | Olga Polanco Pérez, et als. v. UBS Financial Services, Inc. et al. | |||
| Jonathan J. Brennan | FINRA 19-02115 | Maria Del R. Serrano and The Estate of Alfonso Serrano v. UBS Financial Services, Inc. | MC-2021-24 | 24 de marzo de 2021 |
| FINRA 19-00053 | Luis A. Gonzalez Reyes, for his IRA and as Tenants in Common with Brenda R. Oquendo Cartagena and Brenda R. Oquendo Cartagena, individually v. UBS Financial Services, Inc. | |||
| FINRA 19-00323 | Leticia Del Pilar Reguero Colon, Pedro L. Reguero Colon and Rafael L. Reguero Colon as heirs of Pilar Reguero v. UBS Financial Services, Inc. | |||
| FINRA 19-01479 | Alfonso E. Valdes Acevedo, individually and Maria Del Pilar Valdes Acevedo, individually v. UBS Financial Services, Inc. and Santander Securities, LLC. | |||
| FINRA 19-00198 | Yara J. Diaz Silva, individually, Maria I. Diaz Silva individually, and Carmen Silva individually and as Joint Tenants with the Estate of Jorge A. Diaz v. UBS Financial Services, Inc. | |||
| FINRA 19-00778 | Jose Ramirez Fas v. UBS Financial Services, Inc. | |||
| FINRA 19-01770 | Pascual Normandia Sepulveda and Luz Delia de Jesus, as Tenants in Common v. UBS Financial Services, Inc. | |||
| FINRA 19-02134 | Daniel Alejandro Tapia Santiago v. UBS Financial Services, Inc. and Santander Securities, LLC. | |||
| FINRA 19-02350 | Angel Ortiz Ortiz and Ivonne Flores Ingles v. UBS Financial Services, Inc. | |||
| FINRA 19-02425 | Mario Edmundo Velez Martinez v. UBS Financial Services, Inc. | |||
| FINRA 20-00022 | Humberto Guzman Rodriguez and Jeneditch Perez v. UBS Financial Services, Inc., UBS Financial Services Incorporated of Puerto Rico | |||
| Stephen R. Klaffky | FINRA 20-0853 | Cooperativa de A/C Empleados Gerenciales AEE v. UBS Financial Services Incorporated of Puerto Rico | MC-2021-22 | 24 de marzo de 2021 |
| Robert J. Dressel | FINRA 20-02748 | Ana M. González Rivera, et als. y. UBS Financial Services, Inc. | MC-2021-21 | 24 de marzo de 2021 |
| Brad Eric Konstandt | SJ-2019-CV-07932 | National Public Finance Guarantee Corporation y MBIA Insurance Corporation v. UBS Financial Services Inc.; UBS Securities LLC; Citigroup Global Markets, Inc.; Goldman Sachs & Co. LLC; J.P._Morgan Securities LLC; Morgan Stanley &_Co. LLC; Merrill Lynch, Pierce, Penner & Smith Inc.; RBC Capital Markets, LLC; y Santander Securities LLC | MC-2021-41 | 19 de marzo de 2021 |
| SJ-2020-CV-01505 | Ambac Assurance Corporation v. Merrill Lynch, Pierce, Fenner & Smith Inc., Citigroup Global Markets Inc.; Goldman Sachs & Co. LLC; J.P. Morgan Securities LLC, formely known as J.P. Morgan Securities, Inc.; Morgan Stanley & Co. LLC; Samuel A. Ramírez & Co., Inc.; Raymond James & Associates, Inc.; and UBS Financial Services, Inc. | |||
| SJ-2020-CV-06383 | Financial Guaranty Insurance Company v. Merrill Lynch, Pierce, Fencer & Smith Inc.; Citigroup Globa1 Markets Inc.; Goldman Sachs & Co. LLC; J.P. Morgan Securities LLC, Morgan Stanley & Co. LLC; Oriental Financial Services LLC; Popular Securities LLC; Raymond James & Associates, Inc. RBC Capital Markets LLC; Samuel A. Ramirez & Co., Inc.; Santander Securities LLC; UBS Financial Services Inc.; y UBS Securities LLC | |||
| Michael Barry Carlinsky | SJ2020CV01505 | Ambac Assurance Corporation v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets, Inc., Goldman Sachs & Co., LLC, J.P. Morgan Securities, LLC, Morgan Stanley & Co., LLC, Oriental Financial Services LLC; Popular Securities LLC; Raymond James & Associates, Inc.; RBC Capital Markets LLC; Samuel A. Ramírez & Co., Inc., Santander Securities LLC; UBS Financial Services, Inc. and UBS Securities LLC | MC-2021-40 | 19 de marzo de 2021 |
| Deborah Rachel Sands | FINRA 18-02228 | Julio Cruz Velázquez, et al. v. Santander Securities LLC | MC-2021-34 | 11 de marzo de 2021 |
| Kurtis Jay Keefer | SJ2020CV04397 | Mapfre Praico Insurance Company v. Casa Grande Interactive Communications, Inc., et al. | MC-2021-26 | 11 de marzo de 2021 |
| Francesca Eva Brody | FINRA 18-02228 | Julio Cruz Velázquez, et al. v. Santander Securities LLC, | MC-2021-29 | 8 de marzo de 2021 |
| Suzanne Marguerite Salgado | SJ-2018CV03958 | The Commonwealth of Puerto Rico v. Cardinal Health, Inc., et al. | MC-2020-134 | 8 de marzo de 2021 |
| Melinda Kimberlee Johnson | SJ-2018CV03958 | The Commonwealth of Puerto Rico v. Cardinal Health, Inc., et al. | MC-2020-133 | 8 de marzo de 2021 |
| Lance William Waters | FINRA 20-02220 | Gregorio E. Terc Soto, MD Individually and on Behalf of his Profit -Sharing Plan v. UBS Financial Services, Inc. and UBS Financial Services Incorporated of Puerto Rico | MC-2021-31 | 5 de marzo de 2021 |
| FINRA 20-03894 | Agnes B. Seda and Dr. José E. Najul v. UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services, Inc. | |||
| FINRA 21-00176 | Cecilia Reyes v. UBS Financial Services, Inc. and UBS Financial Services Incorporated of Puerto Rico | |||
| Viviana Helen Aldous | FINRA 20-03400 | Wilson Rivera Ortiz, Nancy Feliciano, William Feliciano Feliciano and Mayra Ramos Feliciano v. UBS Financial Services Incorporated of Puerto Rico | MC-2021-30 | 5 de marzo de 2021 |
| FINRA 20-04164 | Hilda Vélez, Individually and as heir to Isidro Vélez Rodríguez v. UBS Financial Services, Inc. | |||
| FINRA 20-04213 | Sergio Rodríguez Rosado v. UBS Financial Services, Inc. | |||
| Richard Jon Davis | FINRA 19-02088 | Eugenia Fidalgo Gutiérrez, Mercedes Fidalgo Gutiérrez, and the Fidalgo Gutiérrez Holding Corp. v. UBS Financial Services, Inc., UBS Financial Services Incorporated of Puerto Rico | MC-2021-28 | 5 de marzo de 2021 |
| Viviana Helen Aldous | FINRA 20-02606 | The Estate of Haydee Ruiz Cruz and Marisol Rivero Ruiz, Individually and as Representative of the State v. UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services, Inc. | MC-2021-27 | 4 de marzo de 2021 |
| Randi Perry Spallina | FINRA 16-02127 | Mariano González Diez and Gladys Carbonell Mamery v. UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services Inc. | MC-2021-23 | 4 de marzo de 2021 |
| Robert B. Tannenbaum | SJ2019CV13090 (906) | Government of PR v. Walgreens Boots Alliance, Inc.; Walgreen Co. and Walgreen of PR, Inc. | MC-2021-19 | 3 de marzo de 2021 |
Febrero
| NOMBRE DEL ABOGADO |
NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD |
FECHA DE LA RESOLUCIÓN |
| Leonel Peraza, Jr. | FINRA 16-02127 | Mariano González Diez, et al. v. UBS Financial Services Incorporated of Puerto Rico, et al. | MC-2021-18 | 23 de febrero de 2021 |
| Richard Jon Davis | FINRA 20-00762 | Cooperativa de Ahorro y Crédito Familiar Progresista v. UBS Financial Services Incorporated of Puerto Rico | MC-2021-16 | 23 de febrero de 2021 |
| FINRA 19-00536 | Reinaldo Cabanillas, individually and as Beneficiary of the Reinaldo Cabanillas Retirement Plan v. UBS Financial Services, Inc. | |||
| FINRA 19-00396 | Cooperativa de Ahorro y Crédito Medicoop v. UBS Financial Services Incorporated of Puerto Rico | |||
| FINRA 19-02977 | Jaime Munet, Conjugal Partnership Munet-Colon v. UBS Financial Services, Inc., et al. | |||
| FINRA 19-01184 | Cooperativa de Ahorro y Crédito de Yauco v. UBS Financial Services Incorporated of Puerto Rico | |||
| FINRA 19-01496 | Cooperativa de Ahorro y Crédito del Colegio de Ingenieros y Agrimensores de Puerto Rico v. UBS Financial Services Incorporated of Puerto Rico | |||
| FINRA 20-01627 | Julio H. Marquez Pagán, et al. v. UBS Financial Services, Inc. | |||
| Kayla Allison Feld | SJ-2020-CV-06383 | Financial Guaranty Insurance Company v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets, Inc., Goldman Sachs & Co., LLC, J. P. Morgan Securities, LLC Morgan Stanley & Co., LLC, Oriental Financial Services LLC, Popular Securities LLC, Raymond James & Associates, Inc. RBC Capital Markets LLC, Samuel A. Ramirez & Co., Inc., Santander Securities LLO, UBS Financial Services, Inc., and UBS Securities LLC | MC-2021-20 | 22 de febrero de 2021 |
| Robert B. Tannenbaum | SJ-2019-CV-13090 | Government of PR v. Walgreens Boots Alliance, Inc.: Walgreen Co. and Walgreen of PR, Inc. | MC-2021-19 | 22 de febrero de 2021 |
| Jeffrey Lewis Raizner | FA-2019-CV-01093 | Consejo de Titulares del Condominio Costa Esmeralda v. MAPFRE PRAICO, Ins. Co. | MC-2021-15 | 22 de febrero de 2021 |
| Bradley Boone Rounsaville | FINRA 17-01629 | Rubén Díaz Rodríguez and Rosa Torres Rosado v. UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services, Inc. | MC-2021-14 | 22 de febrero de 2021 |
| Matthew Scott Edinger | FINRA 19-00536 | Reinaldo Cabanillas, Individually and as Beneficiary of The Reinaldo Cabanillas Retirement Plan v. UBS Financial Services, Inc. | MC-2021-13 | 22 de febrero de 2021 |
| FINRA 19-02081 | Luis F. Fernández Pérez, Elba Guzmán Guzmán and César E. Fernández Guzmán v. UBS Financial Services, Inc. | |||
| FINRA 18-03678 | Francisco R. Aponte Rivera, Individually, and Luis E. Aponte, Carlos M Aponte, Francisco R. Aponte and Milagros T. Aponte, Tenn. in Comm. v. UBS Financial Services, Inc. | |||
| FINRA 19-01878 | Luis Ángel Cruz Cruz and Ángel R. Cruz Colón v. UBS Financial Services, Inc. | |||
| FINRA 19-01981 | Cruz Nereida Cabán, individually and as Tenants in Commom with Pedro E. Hernández Vega and Hilda Hernández De Saavedra, individually v. UBS Financial Services, Inc. | |||
| FINRA 19-02116 | John A. Regis, Jr and Fast Food Management, Inc. v. UBS Financial Services, Inc. | |||
| FINRA 19-02380 | Herson E. Morales Sosa, individually and as Tenants in Common with Edna Irizarry Beiso, Edna Rosario Irizarry Beiso, individually, and Johanna M. Morales individually v. UBS Financial Services, Inc. | |||
| FINRA 19-03831 | Rodolfo E. Criscuolo Morales and Carmen L. Carie v. UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services, Inc. | |||
| Gregory Nathaniel Wolfe | SJ-2019-CV-07932 | National Public Finance Guarantee Corporation y MBIA Insurance Corporation v. UBS Financial Services, Inc.; UBS Securities LLC; Citigroup Global Markets, Inc.; Goldman Sachs & Co., LLC; J.P. Morgan Securities LLC; Morgan Stanley & Co. LLC: Merrill Lynch, Pierce, Fenner & Smith, Inc.; RBC Capital Markets LLC; y Santander Securities LLC | MC-2021-12 | 22 de febrero de 2021 |
| Peter G. Neiman | SJ-2020-CV-06383 | Financial Guaranty Insurance Company v. Merrill Lynch, Pierce, Fenner & Smith Inc.; Citigroup Global Markets Inc.; Goldman Sachs & Co. LLC; J.P. Morgan Securities LLC, Morgan Stanley & Co. LLC; Oriental Financial Services LLC; Popular Securities LLC; Raymond James & Associates, Inc.; RBC Capital Markets LLC; Samuel A. Ramírez & Co., Inc.; Santander Securities LLC; UBS Financial Services, Inc.; y UBS Securities LLC | MC-2021-11 | 22 de febrero de 2021 |
| Ross E. Firsenbaum | SJ-2020-CV-06383 | Financial Guaranty Insurance Company v. Merrill Lynch, Pierce, Fenner & Smith Inc.; Citigroup Global Markets Inc.; Goldman Sachs & Co. LLC; J.P. Morgan Securities LLC, Morgan Stanley & Co. LLC; Oriental Financial Services LLC; Popular Securities LLC; Raymond James & Associates, Inc.; RBC Capital Markets LLC; Samuel A. Ramírez & Co., Inc.; Santander Securities LLC; UBS Financial Services, Inc.; y UBS Securities LLC | MC-2021-10 | 22 de febrero de 2021 |
| Sala Soto | FINRA 16-02127 | Mariano González Diez and Gladys Carbonell Mamery v. UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services, Inc. | MC-2021-8 | 22 de febrero de 2021 |
| Grace Jackson Posey | FINRA 20-02814 | María E. Narváez Rivera, María E. Narváez Rivera MD Retirement Plan Trust, Menr Medical Services, Menr Investment Corp., Gloria A. Acevedo Rivera, Gaed Investment, Inc. and María de las A. Vilar Pastrana v. UBS Financial Services, Inc. | MC-2021-5 | 22 de febrero de 2021 |
| FINRA 20-04221 | Andrés J. Calvo and Yolega N. Díaz v. UBS Financial Services, Incorporated of Puerto Rico and UBS Financial Services, Inc. | |||
| FINRA 19-03645 | Lourdes Alvarado Landazyry v. UBS Financial Services, Inc. | |||
| FINRA 19-03371 | Mara Maldonado López v. UBS Financial Services, Inc. | |||
| FINRA 19-04445 | Carmen Ayoroa Santaliz, individually and Roberto Muñoz Arill as Tenants in Comm. with Laura R. Ayoroa v. UBS Financial Services, Inc. | |||
| FINRA 19-01123 | Dennis Vélez Echevarría v. UBS Financial Services, Inc. | |||
| Dominick F. Evangelista | FINRA 18-02474 | Ivelisse Berdeguer-Rivera v. Merrill Lynch, Pierce, Fenner & Smith, Inc. | MC-2021-17 | 11 de febrero de 2021 |
| Peter Evan Calamari | SJ-2020-CV-06383 | Financial Guaranty Insurance Company v. Merrill Lynch Pierce, Fenner & Smith Incorporated, Citigroup Global Markets, Inc., Goldman Sachs & Co., LLC, J. P._Morgan Securities, LLC Morgan Stanley & Co., LLC, Oriental Financial Services LLC, Popular Securities LLC, Raymond James & Associates, Inc. RBC_Capital Markets LLC, Samuel A. Ramirez & Co., Inc., Santander Securities LLC, UBS Financial Services, Inc., and UBS Securities LLC | MC-2021-6 | 4 de febrero de 2021 |
| Melissa A. Rose Heidelberg | BY-2019-CV-05160 | Departamento de Corrección y Rehabilitación v. Mapfre Praico Insurance Company | MC-2021-3 | 4 de febrero de 2021 |
| Sarah Kathyn Yates | FINRA 20-03021 | Héctor J. González v. Merrill Lynch, Pierce, Fenner and Smith, Inc. | MC-2020-129 | 4 de febrero de 2021 |
| William Scott Grecco | FINRA 19-01630 | Manuel G. Díaz v. National Financial Services LLC | MC-2021-7 | 1 de febrero de 2021 |
Enero
| NOMBRE DEL ABOGADO |
NÚMERO DEL CASO | PARTES | NÚMERO DE SOLICITUD |
FECHA DE LA RESOLUCIÓN |
| Peter Sean Fruin | FINRA 19-01324 | Marcos A. Medina Ocasio and María D. Ortiz Rivera v. UBS Financial Services, Inc. | MC-2020-138 | 25 de enero de 2021 |
| FINRA 19-02088 | Eugenia Fidalgo Gutierrez, Mercedes Fidalgo Gutierrez and the Fidalgo Gutierrez Holding Corp. v. UBS Financial Services, Inc., UBS Financial Services of Puerto Rico, Inc. | |||
| David J. Libowski | FINRA 20-00376 | Mr. Henry Mercado and Mrs. Lucy Calderón v. Merrill Lynch, Pierce, Fenner & Smith Incorporated | MC-2020-131 | 25 de enero de 2021 |
| David J. Libowski | FINRA 20-00761 | Cooperativa de Ahorro y Crédito Familiar Progresista v. Merrill Lynch, Pierce, Fenner & Smith Incorporated | MC-2021-1 | 25 de enero de 2021 |
| FINRA 20-00673 | Cooperativa de Ahorro y Crédito Cristobal Rodríguez Hidalgo v. Merrill Lynch, Pierce, Fenner & Smith Incorporated | |||
| Kathleen Shields O’Bernie | MT-2020-CV-00224 | Municipio Autónomo de Manatí v. Triple S. Propiedad, Inc. | MC-2021-4 | 22 de febrero de 2021 19 de enero de 2021 |
| Jorge Mentor Altamirano | FINRA 19-00097 | Manuel Diaz v. Santander Securities LLC | MC-2020-127 | 14 de enero de 2021 |
| Ross E. Firsenbaum | SJ-2019-CV-07932 | National Public Finance Guarantee Corporation y MBIA Insurance Corporation v. UBS Financial Services Inc.; UBS Securities LLC; Citigroup Global Markets, Inc.; Goldman Sachs & Co. LLC; J.P. Morgan Securities LLC; Morgan Stanley & Co. LLC; Merrill Lynch, Pierce, Fenner & Smith Inc.; RBC Capital Markets, LLC; y Santander Securities LLC | MC-2020-99 | 14 de enero de 2021 |
| Peter G. Neiman | SJ-2019-CV-07932 | National Public Finance Guarantee Corporation y MBIA Insurance Corporation v. UBS Financial Services Inc.; UBS Securities LLC; Citigroup Global Markets, Inc.; Goldman Sachs & Co. LLC; J.P. Morgan Securities LLC; Morgan Stanley & Co. LLC; Merrill Lynch, Pierce, Fenner & Smith Inc.; RBC Capital Markets, LLC; y Santander Securities LLC | MC-2020-97 | 14 de enero de 2021 |